Rick A. Werner is the co-chair of the firm’s Capital Markets and Securities Practice Group and the Chair of the firm’s Israel Practice Group. Rick represents issuers and investors in a wide range of corporate transactions that includes securities offerings, venture capital financings and other forms of private equity investment, mergers and acquisitions, joint ventures, recapitalizations and spin-outs. Rick also advises clients on general corporate, securities compliance and reporting matters.
Rick's experience with public and private securities offerings includes initial and secondary offerings of equity and convertible securities, Rule 144A offerings, rights offerings and shelf registrations. He represents buyers and sellers in mergers, tender offers and asset and stock transactions. Rick also works on alternative financing transactions such as reverse-mergers, registered direct offerings and private investments in public equity (PIPEs). He has substantial experience with investment funds, and regularly advises hedge funds, venture capital funds, industry sector funds and arbitrage funds on matters ranging from fund formation, organizational structuring, and regulatory compliance to individual transaction representation, restructurings and asset management.
Publications and Presentations
Professional and Community Activities
- "The Offer: What Small-Cap Issuers Need to Know," co-author, Corporate Counsel, August 15, 2014
- "Alternatives to Listing on National Securities Exchanges," ABA 2012 Annual Meeting, August 2-7, 2012
- "Dual Listings for TASE-listed Firms," Alternative Finance Conference Israel, DealFlow Media, December 12-13, 2011
- "Stock Lending, Equity Lines, Debt Investments and Peripheral Deal Structures for Investors," The PIPEs Conference 2011, DealFlow Media, November 1-2, 2011
- American Bar Association
- The Association of the Bar of the City of New York